Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

SEC Finds Confidentiality Agreements Violates Whistleblower Rules

whistleblower

Employment, Litigation, Public Companies and Securities The SEC announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the whistleblowing process. For those who follow this area, it was not a big surprise as the SEC has been known to be trolling for defendants to make a point.  I wouldn’t […] Read more →

by   |   April 1, 2015

executive compensation

SEC Brings Enforcement Action Related to Perks

Employment, Executive Compensation, Litigation, Public Companies and Securities The SEC charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly $200,000 in corporate funds for personal perks that were not disclosed to... Read more →

by   |   March 31, 2015

FollowtheRulesImage_LowerRes_iStock_000016212764

SEC Imposes $6 Million in Penalties for Straw Purchaser Arrangement

Broker-Dealer, Consumer Protection, Investment Advisers On March 26, 2015, the SEC settled charges against 22 parties relating to arrangements by which companies not registered as broker-dealers purchased securities on behalf of Global... Read more →

by   |   March 31, 2015

CFTC Provides Chief Compliance Officers Additional Time to Submit Annual Reports

Derivatives The CFTC’s Division of Swap Dealer and Intermediary Oversight issued a no-action letter to futures commission merchants, swap dealers and major swap participants, referred to as... Read more →

by   |   March 29, 2015